FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA -- A new rule every three days
By Jack MarrionSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
August 31, 2008
Senior fraud cases on fast trackFINRA is increasing the pace of investigations and enforcement actions against advisors who defraud older investors, according to the Wall Street Journal. FINRA's goal is to protect seniors against unscrupulous financial advisors who take
August 01, 2008
FINRA cracking down on use of ghostwritten materialAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
July 31, 2008
FINRA cracking down on use of ghostwritten materialAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 01, 2008
FINRA Teams With IFEBPThe Financial Industry Regulatory Authority is working with the International Foundation of Employee Benefit Plans to help protect companies and older workers from early retirement ...
July 01, 2008
NEWS & PRODUCTS, JULY 2007Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...